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Last updated 5 days ago
SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Scheme
5 days ago
The Securities and Exchange Commission today announced that it filed charges seeking...
SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation A
8 days ago
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced...
SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies
19 days ago
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA)...
SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement
20 days ago
The Securities and Exchange Commission today voted to extend the compliance date...
SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026
20 days ago
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered...
Regulators to Hold Outreach Event for Municipal Market Professionals
20 days ago
The Securities and Exchange Commission, the Municipal Securities Rulemaking Board (MSRB) and...
Kevin Muhlendorf Named SEC Inspector General
22 days ago
The Securities and Exchange Commission today announced that Kevin Muhlendorf will be...
SEC Announces Departure of David Saltiel
27 days ago
The Securities and Exchange Commission today announced that David Saltiel, who has...
SEC Names Erik Hotmire as Chief External Affairs Officer and Director of the Office of Public Affairs
about 1 month ago
The Securities and Exchange Commission today announced that Erik Hotmire will return...
SEC Names Kurt Hohl as Chief Accountant
about 1 month ago
The Securities and Exchange Commission today announced that Kurt Hohl, with nearly...
Brian Daly Named Director of Division of Investment Management
about 1 month ago
The Securities and Exchange Commission today announced that investment management industry leader...
SEC Names Jamie Selway as Director of Trading and Markets
about 1 month ago
The Securities and Exchange Commission today announced the appointment of Jamie Selway...